Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Troy Baily (Baily), previously associated with Sagepoint Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Baily recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on September 18, 2025.
Applicant is alleged to have concentrated the complainant’s account in illiquid alternative investments.